I N TH E S U PR EM E C O U R T O F M I S S I S S I PPI N O. 2 0 0 5 - CA-0 1 1 0 6 - S CT CRAI G ALLEN
v. NATI ON AL R AI LROAD PAS

S ENG ER C OR P OR

A T I ON
D A T E O F JU D G M E N T : 05/ 27/ 2005 TRI A L J U D G E: H O N
. W
. S W A N Y ERG ER C O URT F RO M W HI C H AP P E

ALE D: HI

N DS C O UN T

Y C I RC UI T

C O URT A TTO RN EY S F O R A

P P ELLA N T: TERES A

EA RLEY H A RV EY S AM UE L JAY R O S E N T HAL ATT O RN E

YS F O R A

P P E L L E E : K E

N N ET H DAVID M c L

E AN G EO RG E H
. RI TTER N ATURE O F T HE C AS E : C I VI L - P E RS O N AL I

N J URY D I SPO SI T

I O N : A FFI R M E D- 07/ 27/ 2006 M O T I O N F O R R

E HE AR I N G F I L E D: M AN DAT

E I S S UE D:

B E F O R EC O B B , P .J., C A R L SO N A

N D GR A V E S, JJ. CAR LS O N , J US TI CE, F O R TH E CO UR T: ¶ 1. B eca

u s e t h e t ri al cou r t di s m i s s ed h i s t o r t l aw s u i t f or dam ag es becau s e of h i s r epeated f a i l u re to d i s c l o s e i n d i s c o v e ry h is p r io r b a c k

i n ju ry a n d w o rk e rs ’ c o m

p e n s ati o n c l a i m , th e pl a i n ti f f h a s a ppe a l e d t o u s . Fi n di n g n o e r ror by t h e t r i a l c o ur t , w e a f

f i r m i t s j u dg m e n t of di s m i s s a l
.2 F A C T S A ND P RO C E E DI NG S I N T H ET RI A L C O U RT ¶2. C r a i

g A l l e n w a s a n a s s i s t a n t c on du c t or f or t h e N ati on a l R a i l r oa d Pas s e n

g e r C o r p o r a t i

on ( A m t r ak) . I n 2001, A l

l e n s uf f e r e d a s pi

n a l i n j u r y w h i l e u n l oa di n g ba g g a g e on t h e j ob i n J acks on , an d h e t h er eaf ter s u ed A m t r ak pu r s u an t t o t h e Feder al E m pl o ye r s ’ Li

abi l i t y A ct ( FE L A ) , 45 U .S.C . §§ 51 e t

s e q., i n t h e C i r c u i t C ou r t f or t h e Fi r s t J u di c i a l D i s t ri c t o f H inds C ou n t y . D u ri n g di s cov er y , A m t r ak as ked A l

l en i f h e h ad ev er s u f f er ed a s i m i l ar i n j u r y or f i l ed
a w o rk e rs ’ c o m

p e n s ati o n c l a i m . In s e p a ra te re s p o n

s e s to A m trak ’s i n qu i ri e s p ro p o u

n d e d v ia i n t er r og ator i es , r equ es t s f o r pr odu ct i on of do cu m en t s , an d d eposi ti on qu es ti on s , A l l en den i ed t h at h e h ad ev er s u f f er ed a pr ev

i ou s back i n j u r y or f i l ed a wor ker s ’ com pen s at i on cl ai m . ¶3
. L a t e r, a f

ter th e c l o se o f d i sc o v e ry , A m tr ak l e a rn e d th at A l l e n n o t o n l y h a d in fa c t p r ev i o u sl y su f f er ed d i sc i n j u ri es to h i s l o w er b ack i n t h e sam e l o cati o n , b u t t h at A l l en h ad al so f i l ed a cl ai m an d r ece i v ed a wor ker s ’ com

pen s at i on aw ard f or t h at ear l i er i n j u r y. T hi s ear

l i er i n ju r y h a d o c c u r r e d i n 1 9 9 3 wh

e n Al l e n , a f o r m e r p o l i c e o f f ic e r , wa s s tr

u c k b y a c a r wh i l e di r e c ti n g t r a f f i c . B e c a

u s e of A l l e n ’ s f a l s e r e s pon

s e s , g i v e n u n de r oat h , A m t r ak f i l e d f or
s an ct i on s in t he f

o r m of a m ot i on t o d i s m i s s u n der t h e pr ov i s i on s of M i s s . R . C i v . P . 3 7. A l

l en
r es po n ded w i t h a s w or n af f i dav i t , stat i n g t h at t h e i n ci den t an d i n j u r y w e r e s o m i

n or , h e h ad

“ h o n e stl y c o m p l e tel y ” f o rg o tte n a b o u t t h e m. A t t h e h

e a ri n g o n th e R u l e 3 7 m o ti o n , A l l e n ’s
at t or n e y n ot e d t h at A l l e n w a s pr e s e nt i f t h

e t ri a l j u dg e n e e de d t o pe r s on

a l l y qu e s ti on h i m , bu t t h e j u dg e f o und s uc h i

n t e r r og ati on u n n e c e s s a r y . T h e t ri a l c ou r t f ou n d A l l e n ’ s om i s s i on t o be
wi l l f u l c on du c t w h i c h pr e j u di c e d A m t r ak a n d f ou n d t h e de t e r r e n t v a l u e o f R u l e 37 c ou l d n ot3

b e a c h i e v e d b y a le s s h a r sh

res u l t t h a n th at o f d i sm i ss a l
. T h e tr i a l c o u rt th u s g ran tedA m tr ak ’s
m ot i on an d d i s m i s s ed A l l en ’ s cas e w

i t h pr ej u di ce. ¶4. O n

ap p eal t o u s, A l l en co m p l a in s t h a t ( 1 ) t

h er e w as i n su f f i ci en t ev i d en ce o f wi l l f u l n ess
or bad f ai t h on h i s par t t o j u s ti f y a di s m i s s al of hi s l aw s u i t ; ( 2) t h e FE L A pr ov i des a cl ear p ref e ren c e f o r cre d i b i l i ty d e term i n ati o n s to b e m

a d e b y th e f a c t- f i n d e r (j u ry ); a n d , (3 ) Al

l e n ’s d u e p ro c e s s ri

g h ts we re v i o l a t e d w h e n h e w a s n

o t p e rm i tte d to te s ti f y at th e h e a ri n g b e f o re th e t ri a l j u dg e . D I S C U S S I ON I . E V

I D E N C EO F

B A D F A I T H A N D W I L L FU L N E SS ¶5
. R e v ie w in g a n o t h

e r c a s e wi

th s i m i l a r f a c ts c o n c e rn i n g d i s c o v e ry a b u s e re s u l ti n g i n di s m i s s a l wi t h pr e j u di c e , w e s t at e d: T h e d e c i s i o n to i m p o s e s a n c t io n s f o r d i s c o v e ry a b u s e i s v e s te d i n th e tri a l c o u r t ’ s d i s c r e ti o n . T h e p r o v i s i o n s f o r i m p o s i n g s a n c ti o n s a r e d e s i g n e d to g i v e t h e c ou r t g r e a t l a t i t ude . T

h e pow e r t o di s m i s s i s i n h e r e n t i n a n y c ou r t of l a w o r e qu i ty , b e i n g a m e a n s n e c e s s a ry to o rd e r ly e x p e d i

ti o n o f ju s ti c e a n d th e co u r t ’ s con t r o l o f i t s ow n d o ck et . N ev

er t h el ess, t h e t ri a l co u r t sh o u l d d i sm i ss a cau se of acti o n f o r f ai l u r e t o co m

p l y wi t h d i scov er y o n l y u n d e r t h

e m o st ex t r em e ci r cu m stan ces. Su c h di s m i s s a l s by t h e t ri a l c o ur t a r e r e v i e w e d u n de r a n a bu s e of di s cr et i on s t an dar d. Wh

en t h i s C ou r t r ev i ew s a deci

s i on t h at i s wi t hi n t he t ri

al cou r t ’ s di s cr et i on , i t f i r s t as ks i f t he c o ur t b e l

ow appl i ed t h e cor r ect l eg al sta n d a r d
. If

th e tr i a l c o u rt a p p l i e d th e ri g h t st a n d a rd , th e n th i s C o u rt c o n si d e rs w h et h er t h e d e c i s i o n w a s on

e of s ev eral r eas on abl e on es w h i ch cou l d h av e been m ade. Pi e r c e v. H

er i t ag e P r op s ., I n c. , 688 So.2d 1385, 1388 ( M i s s . 1997) ( i

n t e r n a l c i t ati on s
o m i tte d ). “ T h i s C o u rt wi l l a f fi r m a t r ia l

c o u rt ’s d e c i si o n u n l e ss th e re i s a ‘d e f i n i te an d f i rm4

c on v i c ti on t h at t h e c ou r t be l ow c o m m i t t e d a c l e a r e r r or of j u dg m e n t i n t h e c on c l u s i on i t
rea c h e d u p o n w e i g h i n g o f rel e v a n t f a c to rs. ’” I

d. (q u o ti n g C o o p er v . S t a t e F

a rm F i re & C a s. C o. , 5 68 S o. 2d 6 8 7 , 6 9 2 ( M i s s . 1 99 0) ) . O n

e ce r t ai n t y i s t h at w e are to g

i v e g r eat def er en ce i n t h e s e c a s e s t o t

h e t r i a l j u dg e ’ s e x e r c i s e of di s c r e ti o n. “ T ri a l c ou r t s h av e c on s i de r a bl e d i s c r e t i o n

i n d i scov er y m at t er s an d d eci si o n s w i l l n o t b e o v er t u r n ed u n l ess t h er e i s an ab u se of di s c r e ti on .” Scogg i n sv. E l l

zey B eve r

ag es , Inc. , 7 4 3 S o . 2 d

9 9 0 , 9 9 5 ( M is s . 1 9 9 9 ); (qu o ti n g R obe r t v . C ol s on , 7 2 9 S o . 2 d

1 2 4 3 , 1 2 4 5 (Mi

ss . 1 9 9 9 )). ¶6
. A lle n

a rg u e s o n a p p e a l , a n d a rg u e d at th e tri a l c o u rt h e a ri n g o n th e m at t e r , t h a t h is
co n d u ct w as n o t wi l l f u l , b u t r at h er t h at h e m er el y f o rg o t ab o u t h i s e a r l i er

i n j u r y an d w o r k er s’
com pen s at i on cl ai m becau s e t h i s p r i o r inj ur

y di d n ot cau s e h i m m u ch pai n , d i d n ot cau s e h i m
a s i g n i f i can t l oss of w or k, a nd d i d no t d i m

i n i s h h i s abi l i t y t o ear n an i n com e. A l l en cl ai m s t h at th e tr i a l c o u rt a b u se d i ts d is c reti

o n i n d i sm i ss i n g h i s l a w su i t d u e to p e rce i

v e d d i sc o v e ry
v i o l ati o n s , w h i l e , o n th e o th e r h a n d , A m trak a rg u e s th at u n d e r M i s s . R
. C i

v . P
. 3 7 a

n d th e
c ou r t ’ s i n h e r e n t pow e r t o c on t r ol i t s ow n doc ke t , t

h e t ri a l c ou r t di d n ot a bu s e i t s di s c r e ti on i n g r an ti n g t h e m ot i on t o d i s m i s s an d t h at A l l en ’ s d ue p r o c e s s ar

g u m en t i s pr ocedu

r al l y bar r ed b e c a u s e i t w a s n o t ra i s e d i n th e tri a l c o u rt. ¶7
. In a d dres si n g th e i ss u e o f w h e th e r h e wi l l f u l l y a n d i n b a d f a i th v i o l ated t h e d is c o v e ry
r u l es by n ot di s cl osi n g cer t ai n inf o r m at i on , A l l en do es n ot ar g u e t h at h e ac t u al l y di s cl osed al l
re qu e s te d i n f o rm ati o n to A m trak , n o r d o e s h e a rg u e th at h i s 1 9 9 3 i n ju ry d id n o t o c c u r. In f a c t, A l l e n a d m i t s t o t h e e a rl i e r i n j u r y a n d a l s o t o m

i s s i n g w o r k a n d r e c e i v i n g w o rk e r’sR

u l e 37( b) of t h e Fede r a l R u l e s of C i v i l Pr oc e du r e a n d R u l e 3 7 ( b ) o f

t h e M i s s i s s i ppi 1 R u l e s of C i v i l Pr oc e du r e a r e v i r t u a l l y i de n ti c a l
. 5 com pen s at i on aw ards f

or t he e a r l i

er i n j u r y . A l l en al s o adm i t s t h at h e f ai l ed t o d i s cl ose a n y i n f or m at i on i n h i s di s cov er y r es po n s es per t ai n i n g t o t h e ea r l i er i n j u r y . H ow ev

er , A l l en ar g u es t ha t t h e r ecord d oes n

ot es t abl i s h t h at h i s om i s s i on s w er e w

i l l f u l . I n s t ead, A l l en as s er t s t h at h e i n n o c e n tl y f o rg o t a b o u t th e i n c i d e n t. B e c a u s e th e tri a l ju d g e d is m

i s s e d h i s c a s e wi

th p re ju d i c e b a s e d o n f i n d i n gs o f b a d f a i th a n d wi l l f u l n e s s , A l l e n a rg u e s e s s e n ti a l l y th at th e p u n i s h m e n t d i d n o t f i t th e c ri m e a n d t h a t o th

e r m e a s u re s w e re av

a i l a b l e to th e tri a l c o u rt to de a l wi t h w h at i t f ou n d t o be di

s c ov e r y v i ol ati on s . A m t r ak a rg u e s t ha t t he t ri a l c ou r t di d n ot abu s e i t s di s cr et i on wi t h r ega r d t o t hi s i

s s u e beca u s e t h e t es ti m on y an d d i s cov er y r es po n s es f ro m A l l e n w e re p ate n

tl y f a l s e a n d m i s l e a d i n g a n d th e re s u l t o f wi l l f u l n e s s a n d b a d f a i th
. ¶8
. T h i s C o u rt h a s a d o p te d t h e F ift h C i rc u i t’s f o u r- p a rt te s t f o r d e te rm i n i n g i f a tri a l c o u rt, i n di s m i s s i n g a c a s e wi t h pre j u di c e u n de r R u l e 37, h a s a bu s e d i t s di s c r e ti on . 1 F i rst, d i sm i ss a l i s au th o ri z e d o n l y w h e n th e f a i l u re to c o m

p l y wi th th e c o u rt ’s o rd e r re s u

l ts f ro m wi l f u l n e s s o r b a d

f a i th , a n d n o t f ro m th e i n a b i l i t y t o c o mp ly
. D i s m i s s a l i s pr ope r on l y i n s i t u ati on ( s i c ) w h e r e t h e de t e r r e n t v a l u e of R u l e 37 can n ot be su bstan ti al l y ach i ev ed by t h e u s e of l es s dr a s t i

c s an ct i on s . A n ot h er con s i der at i on i s w h et h er t h e ot h er par t y’ s p r epar at

i on f or t ri al w as s u bstan ti al l y pr ej u di ced. F i n al l y , d i s m i s s al m ay be i n appr op r i a t e w

h en n eg l ect i s pl ai n l y att ri b u tab l e to a n att o rn e y rath e r t h a n a b l am e l e ss c l i e n t, o r w h e n a p a rt y ’s s i m p l e n e g l i g e n c e i s g ro u n d e d i n c o n f u s i o n o r s i n c e re m i s u n d e rs ta n d in g o f th

e co u r t ’ s order s. Pi er ce , 6 8 8 S o . 2 d a t 1 3 8 9 (qu o ti n g B a t son v. N ea l S p el ce A ssocs. , 7 6 5 F
. 2 d

5 1 1 , 5 1 4 (5 C i

r. th 1985) ( i n t e r n a l c i t ati on s o m i t t e d) ) . T

h i s C ou r t f ou n d i n Pi er ce t h at “ t h e m os t s e v e r e s a n c ti on s p ro v i d e d b y s tatu te o r ru l e m u s t b e av a i l a b l e to a tri a l c o u rt i n a p p r o p r ia t e c a s e s , n

o t ju s t to6

pe n a l i z e t h os e w h os e c on du c t m a y w a r r a nt s u

c h a s a n c ti on , bu t to de t e r t h os e w h o m i g h t be t e m pt e d t o e n

g a g e i n s u c h c on du c t i n t h e a bs e n c e of a de t e r r e n t .” I d. ( r e l yin g on N at i onal H ockey L eagu e v. M

et r op ol i t an H

ockey C l u b, I n c. , 427 U .S. 639, 643, 96 S.C t . 2778, 2781, 49 L .E d.2d 747 ( 1976) )
. ¶ 9. I n g r an ti n g t h e m ot i on t o d i s m i s s , t he t r i a l c o ur t i

n t h i s cas e r el

i ed on t h e B at s on f a c t o r s a d o p t e d

b y t h i s Co u r t i n Pi er ce a nd f ou n d t h at al l f ou r f act or s h ad been s at i s f i ed an d th a t th e o m i s s i o n w a s wi l l f u l c o n d u c t w h i c h c a u s e d th e d e f e n d a n t p re ju d i c e . W e re v

i e w th i s f ou r - par t f i n di n g t od ay l oo ki n g on l y f or an abu s e of di s cr et i on by t h e t ri al j u dg e. ¶1 0
. E a c h p a r t y ’ s v e r s i o n o f th e f a c ts i n th i s c a s e n atu ra l l y d i f f e rs . A m trak a rg u e s th at th e pr ev i ou s acc i den t w as s i gn i f i can t an d t h at A l l en ’ s f ai l u r e to d i s cl ose i t w as decei

t . A l l en
a rg u e s t h at t h e pr e v i ou s a c c i de n t w a s n ot m a j or a n d t h at h e s i m pl y f org ot a bou t i t d ur ing di s c ov e r y be c a u s e i t w a s s o m

i n or . T h e i n f or m ati on A m t r a k obt a i

n e d a f t e r t h e c l os e of d i sc o v e ry rev e a l e d t h at, a s a

res u l t o f th e 1 9 9 3 a c c i

d e n t, A l l e n h a d su f f e red a si m i l a r i n ju ry i n th e e x a c t s a me sp i

n a l l o c ati o n (at v e rt e b rae L

4
- L 5 a n d at t h e L 5
- S 1 jo i

n t) w h e re h i s i n ju ry g i v i n g ri s e to t h i s s u i t occu r r ed
. A l l e n w a s w o r ki n g as a pol i ce of f i cer at t h e t i m e an d w as
s tru c k b y a c a r w h i l e d i re c ti n g tra f f i c . A m trak a ls o le a rn

e d th at Al l e n h a d f i l e d a c l a i m wi th , an d r ece i v ed an aw ard f r om , t h e A r kansas Wor

ker s ’ C om

pen s at i on C om m i s s i on . A m t r ak d i s c o v e re d m e d i c a l re c o rd s p ro v

i n g th at, i n 2 0 0 0 , A l

l e n to l d h i s f am i l y p h y s i c ia n a b o u

t th e 19 93 i n ci den t . A m t r ak po i n t ed ou t t h at t h es e m edi cal r ecords con

t r adi ct ed A l l en ’ s cl ai m t h at t h e i n ci d en t w as i n si g n i f i c an t b ecau se Al l en t o l d a d o ct o r

h e qu i t t h e p o l i ce f o r ce as a r esu

l t7

of t h e s ev er i t y of t h e i n j ur y. A m

t r a k al s o arg u es t h at A l l en i s u n l i kel y t o h av e f or g ot t en
s om et h i n g as s i g n i f i can t as t h i s 19 93 acc i

den t w h en h e w as abl

e to r e m e m

b e r ot h er s eem i n g l y
s m al l er det ai l s abou t h i s w or k ex peri en ce. Al l en cl ai m ed i n an af f i dav i t t h at t h e i n ci den t w as
n ot h i n g m or e t h an a “ m i n or t r af f i c ac ci den t ,” t h at h e m i s s ed v er y l i t t l e w o r k , t

h at an y di s com f or t s u bsi ded w i t h i n a f ew w eeks , an

d t h at h e “ h on es tl y f or g ot ” abou t t h e ac ci den t du ri n g di s cover y becau s e i t w as s o i

n s i g n i f i can t . A l l en al s o cl ai m ed t h at h e di d n ot r eca l l f i l i n g f o r w o rk e rs ’ c o m

p e n s ati o n b e n e f i ts i n 1 9 9 3 a n d th at h e l e f t th e p o l i c e f o rc e s h o rtl y a f te r th e
a c c i de n t . A l l e n poi n t s o ut t h at a bou t f i v e w e e ks a f

t e r t h e 1993 a c c i

de n t , h e w a s r e l e a s e d by d o c to r w h o s a i d h e s u s ta i n e d n o i m p a i rm e n t. A l l e n ’s c o u n s e l a d m i tte d i t w a s d i f f i c u l t to
e x pl a i n A l l e n ’ s 2000 di

s c l os u r e of t h e 1993 a c c i

de n t t o h i s f am i l y ph y s i c i a n . A l l e n ’ s at t o r ne y, h o w e v e r, c h a rac teri z e d i t as a c red i b i l i ty i ss u e th at sh o u l d b e p res e rv

e d f o r t h e ju ry . ¶1 1
. D u r in g d is c o v

e ry , A l l e n h a d m u l ti p l e o p p o rtu

n i ti e s to re p o rt th

e 1 9 9 3 a c c i

d e n t to A m trak , b u t n e v e r d i d
. In i n te rro g ato ri e s n u m b e re d 6 , 8 , 1 1 , a

n d 1 4 , A m trak a s k e d A l l e n to di s c l os e w he t he r

h e h a d e v e r s u f f e r e d a s i m i l a r ba c k i n j u r y , w h e t h e r h e h a d e v e r u n de rg on e
s i m i l a r b a c k t

r eat m en t d u ri n g h i s l i f eti m e, w h et h er h e h ad ev er f i l ed a cl ai m o r l aw su i t ag ai n st a f or m er e m pl oy er , an d w h et h er h e h ad ev er r ece i v ed w or ker s ’ com

pen s at i on aw ards. I n

eac h
o f h i s an sw er s to t

h ese i n t er r o g at o ri es, A l l en f ai l ed t o d i scl o se t h e 1 9 9 3 i n ci d en t . I n r equ est
n u m ber 5 o f t h e r equ es t f or p r odu ct i on of do cu m en t s , A m t r ak spec i f i cal l y as ked f

or al l doc u m e n t s pe r t a i n i n g t o m e di c a l t r e at m e n t of A l l e n ’ s ba c k t ha t ha d e v e r oc c u r r e d i n h i s l i f e ti m e . A l l e n r e s pon de d by at t a c h i n g m e di c a l r e c or ds w

h i c h e x c l u de d a n y doc u m e n t ati on of t h e 199 3 i n ci den t . Wh en di r ect l y as ked d u

ri n g h i s depo s i ti on , A l l en den i ed ev e r h av i n g f i l ed8

a w or ke r s ’ c om

pe n s ati on c l a i m , e v e r h av i n g be e n i n v ol v e d i n a c a r a c c i de n t wi t h t h e e x c e pti on
o f a n u n rel atedm i d
- 1 9 8 0 s a c c i

d e n t, a n d e v e r h av i n g rec e i v e d o th e r m e d i c a l tre atm e n t f o r h i s ba c k. ¶ 12. Pi er

ce i n v o l v e d a p l a i n ti f f s u i n g f o r p e r s o n a l i n ju r y wh e n a c e il in g f

a n f e l l o n h e r wh i l e
s h e w as i n bed. 68 8 S o. 2dat

13 87 . T h e pl ai n ti f f i n t h at cas e r epeatedl

y den i e d t h at an y on e w as
wi t h h e r at t he ti m e of t h e i n j u r y , i n s t e a d i n s i s ti n g t h at s h e w a s a l on e . I d. H e r rea so n

f o r l y i n g
w as t h at s h e di d n ot w an t h er par en t s t o k n ow t h at s h e h ad a m al e com pan i on at h er ap ar t m en t
at t h e ti m e of t h e a c c i de n t . I d. at 13 88 . T

h e t ri al cou r t di s m i s s ed t h e ca s e w i t h pr ej u di ce, an d t h i s C ou r t af f i r m ed, af t er f i n di n g t h at “ t h e t ri al cou r t ’ s s a nc t i

on ag ai n s t P i erce was w ar

r an t ed t o p r o t e c t t h e in

t eg ri t y o f t h e j u d i ci al p r o cess du

e t o P i er ce’ s abu

se of t h e d i scov er y p r o cess
a n d pr e s e n t ati on of f a l s e t e s ti m on y .” I d. at 1 3 8 7
. W e f

o u n d P i e r c e ’ s c o n d u c t o f wi

l l f u l l y
con cea l ing t h e f act t h at an ot h er per s on w as pr es en

t at t h e t i m e of t h e i n j u r y con s ti t u t ed bad f a i t h. I d. at 1 3 9 0
. W e a ls o h e ld th at th e re w a s n o re qu i re m e n t o f s u b s ta n ti a l p re ju d i c e to th e de f e n s e by t h e a bs e n c e of e v i de n c e . I d. at 1 3 9 1
. F i

n d i n g n o a b u se o f d i sc reti o n , th i s C o u rt
a f f i r m e d t h e t ri a l c ou r t ’ s di s m i s s a l
. I d. at 1392. ¶1 3
. In Sc o g

g i ns , w e a l

s o a f f i rm e d a tri a l c o u rt’s d i s m i s s a l u n d e r R u l e 3 7 , f i n d i n g th e pl ai n ti f f t o h av e r epeatedl

y m i s r epr es en

t ed h er m edi cal h i s t or y w h i ch coi n ci den t al l y i n v ol v ed i n ju ry to th e p l a i n ti f f’ s lu mb a r s p i

n e . 7 4 3 S o . 2 d

at 9 9 5
. T

h e tri a l c o u rt re c o g n i z e d i ts d u ty to i m po s e t h e l eas t s ev er e s an ct i on ava i l abl e an d f ou n d n o o t h er s an ct i on t o b e av

ai l abl e t h at
w ou l d a c c om pl i s h t h e i n t e n de d pu r pos e i n t h at c a s e . I d. a t 9 9 3
. T h e p l

a i n ti f f a rg u e d m e m o ry9

l o ss i n a n e f f o rt to e x p l a i n a w a y h e r f a i l u re to g i v e c o m p l e tel y a c c u rate res p o n

se s to d i sc o v e ry
r e qu e s t s . I d. at 995. R

e l y i n g on Pi er ce , t h i s C ou r t de t e r m i n e d t h at t h e t ri a l c ou r t di d n ot abu s e i t s di s cr et i on i n f i n di n g t h at t h e pl ai n ti f f ’ s f ai l u r e to com

pl y wi t h di s cov er y r equ es t s w as
wi l l f u l a n d t h at t h e pl a i n ti f f ’ s at t e m pt s t o e x

pl a i n h e r m i s c on du c t w e r e n

ot c r e di bl e or
s u ppor t e d by s u bs t a n ti a l e v i de n c e i n t h e r e c or d. I

d. at 9 9 6
. T

h e re f o re , th i s C o u r t a f

f i rm e d th e di s m i s s a l by t h e t ri a l c ou r t . I d. ¶1 4
. In Sa l t s v . G u l

f N at . L i f e I ns . C o. , 8 7 2 S o . 2 d

6 6 7 (Mi ss . 2 0 0 4 ), a

p l u ral i ty o f th i s C o u rt
r e l i e d on Pi er

ce a n d Sco g gi n s f i n d i n g th at d i sm i ss a l w a s w a rran

tedb e c a u se o f d i sc o v e ry
v i ol ati on s . E qu a l l y di v i de d, t h i s C ou r t a f f i r m e d t he t r i a l c o ur

t ’ s di s m i s s a l of t h e c a s e . I

d. at 6 7 5
. T h e p l u ra l i ty f o u n d a p l a i n ti f f ’s f a i l u re to c o m p l y wi th a c o u rt o rd e r to b e wi

llfu l c o n d u c t. I d. at 67 4. I t f u r t h er f ou n d t h at t h e d e f e nd a nt s ’ t

ri al pr epar at i on was s u bstan ti al l y pr ej u di ced
a n d th e re w a s n o e rro r i n th e tri a l c o u rt’s d e c i s i o n to d i s m i s s th e a c ti o n u n d e r R u le 3 7
. I

d. at 6 74. “ T o h ol d ot h e r wi s e w ou l d r e n de r . . . t h e r u l e m e a n i n g l e s s a n d on e w h i c h w e s h ou l d si m p l y j u d i ci al l y ab r o g at e i f i t i s n o t g o i n g t o b e en f o r ced
. A r u l e w h i c h i s n o t en

f o r ced i s n o
r ul e at a l l
. ” I d. E v e n t h e di s s e n ti n g o p ini o n in S a l ts , d i

s a g re e i n g wi th th e h o l d i n g o n th e p a rti c u l a r f a c ts i n th at c a s e , a c kn

o wl e d g e d t h a t th

e e x tre m e s a n c ti o n o f d i s m i s s a l wi th pr ej u di ce was appr op ri

at e i n P i er ce a nd Sco

g gi n s b e c a

u s e o f m i s re p re s e n tati o n o f f a c t a n d th e pr e s e n t ati on of f a l s e t e s ti m on y . I d. at 6 7 5 (D i

c k i n so n , J. , d i ss e n ti n g ). ¶ 15. T h i s C ou r t h a s r e v e r s e d a t r i a l c ou

r t ’ s di s m i s s a l of a c a s e f or di s c ov e r y v i ol ati on s f i n di n g t h e d i s m i s s a l t o be a n a bu s e of di s c re ti on . W h ite v . W h ite , 5 0 9 S o . 2 d

2 0 5 ( Mi

ss.10

1 9 8 7 ). In W

h ite , th e tria l j u d g

e m a d e n o d e te rm i n ati o n o f wi l l f u l n e s s o r b a d

f a i th a n d th i s C ou r t w as pr es en

t ed wi t h n o f i n di n gs on t h e Pi er ce a n d B at s on c ons i de r ati

on s . I d. at 208- 09. A d d i ti o n al l y , o t h e r san cti o n s w er e av

ai l ab l e b ecau se t h e d i scov er y o f f en se i n t h at case w as a f a i l u r e t o c om

pl y wi t h di s c ov e r y r e qu e s t s i n a ti m e l y m a n n e r . I d. at 209. W

h i t e i l l u s t r at es
w h e n d i sm i ss a l i s i n a p p ro p ri ate, b u t i t i s c l e a rl y f a c tu a l l y d i sti n g u i sh a b l e fr o m t h e c a se at b a

r. H e re , th e tri a l ju d g e m a d e f i n d i n gs o f b a d f a i t h a n d w il

l f u l n e s s a n d d i d s o a c c o rd i

n g to th e B ats o n / Pi er ce f a c t or s , a n d t h e s a n c ti on s w e r e a ppr opri at e be c a u s e of m i s r e pr e s e n t ati on of f act an d t h e p r esen t ati o n o f f al se test i m o n y , ak i n t o o u r h o l d i n g s i n Pi er ce a n d Sc og gi ns . ¶1 6
. In W

oo d v. B i l ox i P u bl i c Sch oo l D i s t r i ct , 7 5 7 S o . 2 d 1 9 0 , 1 9 1 ( Mi ss. 2 0 0 0 ) , w e al

so
r ev er s ed a t

ri al cou r t ’ s di s m i s s al f or di s cov er y v i ol at i on s , f i n d ing t h at t h e ca s e w as d is tin g u is h a b le fr o m Sc og

gi ns a n d Pi er ce , i n t h at t h e l ow e r c ou r t ’ s r ul ing w a s ba s e d u

pon “ a si n g l e a l l e g e d u n tr u th f u l res p o n se i n a n i n terro g ato ry . ” In W ood , t h i s C ou r t det er m i n ed t h at i t w as n o t est ab l i sh ed , as i t w as i n t o d ay ’ s case, t

h at t h e p l a i n ti f f kn o wi n g l y m ad e a f al se
s t at e m e n t or t h at h e s u bm i t t e d a pat t e r n of f a l s e re s pon s e s . I d. G o i n g fu r t h e r , w e fo u

n d th at, ot h e r , m or e a ppr opri at e s a n c ti on s s h ou l d h av e be e n c on s i de r e d b y t

h e t ri a l c ou r t be c a u s e of t h e f a c t s i n t h at c a s e . I d. at 19 1- 92 . L i

ke W h ite , W ood i s no t a p p l i c a b l e t o t od ay ’ s f act s an d
w e cl earl y d i s t in g u i sh W ood t oda y j u s t a s t h e pl u r a l i t y di d i n S a lts , 8 7 2 S o . 2 d

at 6 7 3
- 7 4
. Th

e t ri a l c ou r t i n t oda y ’ s c a s e f

ou n d t h at A l l e n kn owi n g l y m a de f a l s e s t at e m e nt s w he n

i t det er m i n ed h i s act i on s w er e t h e r es u l t of wi l l f u l n es s an d b ad f ai t h . We are n

ot f ace d t od ay
wi t h a s i n g l e u n t r u t h f u l r es po n s e, bu t r epeated op p o r t un i t i e s t o d i s cl ose t h e ea rl i er acc i den t11

a n d re p e ate d f a i l u r e s t o d o s o . L o o k i

n g at w h at sp e c i f i c d e ta i l s o f h i s l i f e A l l e n w a s a b l e to
r e m e m be r e a s i l y , c ou pl e d wi t h t h e 2000 m

e di c a l r e c or ds pr ov

i n g A l l e n t o l d h

i s doc t or a bou t t h e a c c i de n t , t h e t ri a l j u dg e f ou n d t h at a pat t e r n m os t de f i n i t e l y e x i s t e d. W i t h ou t qu e s ti on, on to d a y ’s re c o rd th e tr i a l ju d g e d i d n o t ab u se h i s d i sc reti o n i n m ak i n g h i s ru l i n g . ¶ 17. A l l e n at t e m pt s t o di s t ingui s h Pi er

ce a n d Sco g gi n s by po i n ti n g ou t t h at n ei t h er cas e i s g ov er n ed by t h e FE L A , an d b y a t t em

pt i n g t o f act u al l y di s ti n g u i s h t h ose c as es . A l

l en ar g u es t h at P i er c e i n v o l v e d a p l a i n ti f f w h o kn o wi n g l y a n d wi l l f u l l y p e rju re d h e rs e l f a n d th at Sc og gi ns i n v o l v e d p l a i n a n d o b v io u s e v id e n

c e o f b a d f a i th , b o th b e i n g c o n se qu e n tl y u n l i k e h i s c a se . In Sc og gi ns , w h er e t h e pl a int i f f ’ s ar g u m en t of m em or y l oss w as pu

t f or w ard as a

def en s e,
c om pa r a bl e t o A l l e n ’ s de f e n s e of f org e t f u l n e s s h e r e , w e a g

r e e d wi t h t h e t ri a l c ou r t ’ s f i n di n g th at th e p l a i n ti f f wi tn e s s w a s n

o t c re d i b l e b e c a u s e s h

e c o u l d re m e m b e r d e ta i l s o f o th e r a s p e c ts of h er l i f e an d o nl y had cl

ai m ed a l oss of m em or y con cer n i n g t h e m edi cal h i s t or y s h e f ai l ed to d i sc l o se . 7 4 3 S o . 2 d

at 9 9 5
. F u

rt h e r, w e rea so n e d t h

at an i n v a si v e a n d p a i n f u l p ro c e d u re in v o l v i n g t h e l u m b a r s p i n e t h e r e , c o m p a r a b l e t o t h e l u m b a r i n j u r y h e r e , w o u l d b e d i f f i c u lt to
e a s i l y f org e t . I d. ¶1 8
. W e fin d it to b e u n u s u a l th at Al l e n w o u l d h av e f o rg o tte n a b o u t a b a c k i n ju ry w h ic h
oc c u r r e d i n t h e s am e pl a c e on h i s s pi n e e i g h t y e a r s e a rl i e r , w h i c h r e s u l t e d i n h i s m i s s i ng w or k,
an d f or w h i ch h e w as aw arded w or

ker s ’ c o m

p e nsat i on ben ef i t s . A l l en ’ s ar g u m en t t h at an acci d en t o ccu r ri n g ei g h t y ear s ear l i er w as f ar en o u g h aw ay i n ti m e t o h av e b e en easi l y f or g ot t en w eaken s w h en w e con s i der t h e u n di s pu t ed f act t h at A l l en t o l d hi s f

a m i l y ph y s i ci an12

a bou t t h e 1993 i nc i de n t i n 2000, on

l y on e y e a r be f ore t h e i n j u r y g i v i n g ri s e t o t h i s l i ti g ati on , a n d se v e n y e a rs a f ter th e e a rl i e r i n ju ry o c c u rred
. A l l e n ’s 2 0 0 0 rev

e l ati o n t o h is fa m

i l y p h y s i c i a n a b o u t th e 1 9 9 3 a c c i

d e n t w a s d o c u

m e n te d i n a m e d i c a l re p o rt w

h i c h A l l e n f a i l e d to p ro d u c e i n re s p o n s e to A m trak ’s d i s c o v e ry re qu e s t. A s s u

m i n g a rg u e n d o th at Al l e n i n n o c e n tl y f o rg o t a b o u t h i s 1 9 9 3 a c c id e n

t, th i s “ i n n o c e n t m i s ta k e ” w a s c o m

p o u n d e d b y h i s f a i l u re to pr odu ce t h i s m edi cal r epor t i n di s cov er y . A l l e n a l s o arg

u es t h at t h e j u dg e i g n or ed cer t ai n
r ebu t t al ev i den ce, n am el y A l l en ’ s ow n af f i dav i t . T h i s on e- pag e af f i d a vi t d i d n

ot h i n g m or e t h an
s t a t e A l l e n ’ s de f e n s e t h at h e i n n oc e n tl y f org ot a bou t t h e e a rl i e r i n j u r y . T h i s a f f i dav i t , t o ge t he r
wi t h t h e i n f or m ati on A m t r ak obt a i n e d a f t e r di s c ov e r y , c on s t i t ut e d t he e v

i de n c e t h e t ri a l j u dg e h ad t o r ev i ew i n m aki n g h i s r u l i n g . We are n

ot t o si t i n pl ace of t he t r i a l j ud g

e i n t h i s cas e. We
a re o n l y to re v i e w th e ju d g m e n t o f th e c o u rt b e l o w f o r an a b u s e o f d i s c re ti o n . R e v i e wi n g th e
r e c o r d b e f o r e u s , we f i n d t h at t h e t ri a l c o u r t d i d n o t a b u s e i t s d i s c r e ti o n i n f i n d i n g t h at a Ru l e 3 7 d i s m i s s a l h e re w a s a

p p ro p ri ate p u rs u a n t to P i er

c e a n d B at s on . T h e t ri al cou r t f ou n d t h at A l l e n ’ s f a i l u r e t o di s c l os e t h e 1993 i n c i de n t r e s u l t e d f r om wi l l f u l n e s s or ba d f a i t h, a nd n

ot f r o m t he i na b i l i t y t o c o m p l y. Pi er ce , 6 8 8 S o . 2 d

at 1 3 8 9
. T h e t r ia l c o u r t f o u n d th at th e d e te rre n t v a l u e o f R u l e 3 7 c o u

l d n o t b e s u b s ta n ti a l l y a c h i e v e d b y th e u s e o f l e s s dra s ti c
s a n c ti on s h e r e a n d t h at di s m i s s a l w a s t h u s pr ope r . I

d. A d d i ti o n a l l y , A m tr ak ’s p rep a

rati o n fo r tri a l w a s s u b s t a n t i a l l y p re ju d i c e d , th o u g h s u b s ta n ti a l p re ju d i c e i s n o t n e c e s s a ry u n d e r th i s te s t,
a n d th e re i s n o e v i d e n c e t o e v

e n s u g g e s t th at th e re w a s a

n y n e g l e c t p l a i n l y attri b u ta b l e to A l l e n ’s a tt o rn e y , o r g ro u n d e d i n A l l e n ’s c o n f u si o n o r si n c e re m i su n d e rstan d i n g o f th e c o u rt ’s13

or de r s . I d. S ee a l so A m i ker v. D r u g s F o r L e s s , I n c. , 7 9 6 S o . 2 d

9 4 2 , 9 5 1 (Mi

ss . 2 0 0 0 ); W o o d e x r e l. W o o d v . B ilo x i P u b . Sc h . Di s t. , 7 5 7 S o . 2 d 1 9 0 , 1 9 3 (Mi

ss . 2 0 0 0 ). ¶ 19
. We a f

f or d t h e t ri al j u dg e con s i d e r a b l e , t ho u

g h n ot u n f et t er ed, d i s cr et i on i n cas es s u ch
a s th e o n e b e f o re u s to d a y . In o rd e r to re v

e r s e t h e tri a l c o u rt to d a y , th i s C o u rt w o u l d h av e to h ol d a def i n i t e an d f i r m con v i ct i on t h at t h e t ri al cou r t com m i t t ed a cl ear er r or of j ud g m en t an d abu s e of di s cr et i on i n t h e con cl us i o n i t r eac h

ed u po n w ei g h i n g eac h of t h e r el ev an t f act or s s et
o ut i n Pi er ce . T h i s w e can n o t d o . T h e t ri al co u r t cer t ai n l y w ei g h ed t h e r el ev an t f act o r s i n
r eac h i n g i t s con cl u s i on an d n o ev i d e nc e e xi s t s i

n t h e r ecord t o su

pp or t a f i n di n g of a cl ear
e rro r o f ju d g m e n t o r a b u s e o f b y th e tri a l c o u rt. W e th

u s fin d th i s i s s u e to b e wi

th o u t m e ri t. I I . F ELA ¶2 0
. A l l e n ’s s e c o n

d a s s i g n m e n t o f e rro r i s th at th e tri a l c o u rt s h o u l d h av e a l l o w e d c r e d ib i

l i ty d e t e r m i n ati on s t o be m

a de by t h e j u r y i n a s m u c h a s FE L A s t at e s a pr e f e r e n c e f or t h e f a c t - f i nd e r t o d o so. A l

l en asser t s t h at b ecau se n o ev i d en ce ex i st ed i n t h e r eco r d t o p r o v e wi l l f u l n ess,
s u ch as a s i gn a t ur e on

t h e wor ker s ’ com

pen s at i on f or m s , t h e t ri al cou r t ’ s det er m i n at i on w as
s i m p l y o n e o f c re d i b i l i ty . A l l e n ’s p o s i ti o n i s th at th e tri a l c o u rt, i n ta k in g a w a y t h e c re d i b i l i ty det er m i n at i on f r om t h e j u r y , d epri v ed h i m of h i s ri g h t t o a j u r y t ri al u n der F E L A , w h i ch
en cou r ag e s t he p r ot ect

i on of r ai l r oad w or ker s t h r ou g h l i ti g at i on . A l l en ar g u es t h at t h e t ri al ju d g e h a d n o e v i d e n c e to s u p p o r t h is d e t e r

m i n ati o n th at t h e a c ti o n s we r e i n te n ti o n a l o r wi l l f u l , b u t rath e r o n l y i n f e rre d i t a g a i n s t Al l e n . T h e d e b a te th at e n s u e s b e tw e e n

th e two s i d e s i n th i s
c a s e r a is e s th

e qu e ry o f w h e n a p ro c e d u ra l ru l e i s e s s e n ti a l l y s u b s ta n ti v e b e c a u s e o f i ts e f f e c t. A l l e n a l s o c i te s o th e r a u th o ri ty , w h i c h w e f i n d t o b e m

a rg i n a l l y re l e v a n t to d a y , f o r th e14

p ro p o si ti o n th at t h e e v id e n t ia r y th

res h o l d i s q u i te l o w f o r a F E L A c a se to p ro c e e d

to a ju ry . T h i s m ay be so, bu

t t h i s f act i s s i m pl y n ot di s po s i t i v e of t h e qu es ti on bef or e u s t od ay . T

h e t ri al j u dg e di d no t con s i der t h e ev i den ce t o m ake a s u bstan ti v e det er m i n at i on of w h et h er s u f f i ci en t
ev i den ce e x i s t ed t o p r es en

t a j u r y qu es ti on of caus a t i o n, b ut

r at h er t h e t ri al j u dg e ex am i n ed
e vi d e nc e of

A l l en ’ s di s cov er y v i ol at i on s t o m ake a procedu

r al det er m i n at i on w h et h er h i s pr et ri a l c on du c t w a s w i l l f u l . Fi n a l l y , A l l e n s t at e s t h at de pri v i n g FE L A pl a i n ti f f s of t h e be n e f i t of j u r y t ri a l s e v e n i n c l os e or dou bt f u l c a s e s i s t o “ t ake a w a y a g oodl y por ti on of t h e r e l i e f
. . . C on g r e s s h a s a f f or d e d t h e m ” u n de r t h e s t at u t e . B ai l ey v

. C ent . V t . R y. , 319 U .S. 350, 354, 63 S
. C t. 1 0 6 2 , 1 0 6 4 , 8 7 L
. E d
. 1 4 4 4 (1 9 4 3 ). T h i s i s a l s o n o d o u b t t r u e , b u t d o e s n

o t d e s c ri b e th e
cas e bef or e u s as w e are n

ot con s i deri n g w h et h er en ou g h ev i den ce was pr es en

t ed i n a “ cl ose”
c a s e f or a j u r y t o c on s i de r i t , a s w e w o ul

d, f or e x am pl e , i n r e v i e wi n g a t ri a l c ou r t ’ s g r a n t of a d i re c te d v e rd i c t. A l th o u g h th e h a rs h re a l i ty i s th at d i s m i s s a l wi l l fo re v e r d e p ri v e A l l e n o f th e
o p p o rtu n i ty to s e e k r e l

i e f f o r th e 2 0 0 1 a c c i

d e n t w h i c h i s th e s u b je c t o f to d a y ’s a p p e a l , th at i s p r eci sel y t h e d et er r en t ef f ect o f R u l e 3 7 san cti o n s. ¶2 1
. In m ak i n g i ts r u l i n g , th e tri a l c o u rt re l i e d o n th e f o l l o wi n g h o l d in g s fr o m S c o g

gi ns an d Pi er ce : “ ‘A tri a l i s a p ro c e e d i n g d e s ig n e d t o b e a s e a

rc h f o r th e tru th
. ’ W h e n a p a rty atte m p ts t o t h w ar t s uc h a s e a r ch

, t h e cou r t s ar e obl

i g at ed t o en

s u r e t h at s u ch ef f or t s ar e n ot on l y cu t
s h or t , bu t t h at t h e pe n a l t y wi l l b e s uf

f i c i e n tl y s e v e r e t o di s s u a de ot h e r s f r om f ol l owi n g s u i t .” Sc og gi ns , 7 4 3 S o . 2 d

at 9 9 4
- 9 5 (qu

o ti n g S i m sv . A N

R F r e i g h t

S ys t em , Inc. , 77 F.3d 846, 849 ( 5 C ir . 1 9 9 6 ) )
. “T he po w er t o d i s m i s s i s i n h er en t i n an y cou r t of l aw or equ i t y , b ei n g a m ean s th15

n e c e s s a r y t o or de rl

y e xpe di ti on of j u s ti c e a n d t h e c ou r t ’ s c on t r ol of i t s ow n doc ke t .” Pi er

ce , 6 8 8 S o . 2 d

at 1 3 8 8 (c i

ti n g Pa l m er v. B i l o

x i R eg ’ l M ed . C t r. , 5 6 4 S o . 2 d

1 3 4 6 , 1 3 6 7 (M i ss. 19 90 ) ) . A dd i

ti on al l y , R u l e 3 7 s p e c i f

i cal l y al l ow s f or di s m i s s al as a s an

ct i on i n cer t ai n ci r cu m s t an ces . Mi s s . R . C i v . P . 3 7. C on

cedi n g t h at F E L A do es g ov er n t h i s cl ai m , A m t r ak p o i n ts o u t Al l e n ’ s f a i l u r e to c i te r e l e v a n t au th o r i ty f o r h i s p r o p o s i ti o n s a n d a r g u e s th

at a l l o wi n g th e ju ry to d e c i d e i s s u e s p e rta i n i n g t o p r o c e d

u re , d i s c o v e ry , a b u s e , a n d p re - tri a l m i s c o n d u c t,
w o u l d d i v e s t th e tri a l c o u rt o f i ts o w n i n h e re n t ri g h t to g o v e rn p ro c e d u ra l m atte rs . W i

th th e
a bov e di s c u s s i on s ti l l i n m i n d, w e n e e d n ot r e - e xam i n e t h e s u f f i c i e n c y of t h e e v i de n c e of A l l en’ s d i s cov er y v i ol at i on s . A l l en ’ s con cer n s u n der t h i s s econ d i s s u e are n ot en ti r el y di f f e r e nt f r om h i s con cer n s u n der t h e f i r s t i s s u e di s cu s s ed abov

e, t h u s ou r di s po s i ti on h er e i s th e s am e . T h i s C o u rt h a s s t a t e d it s c o n

c e rn wi th v i rtu a l l y a l l o wi n g a p l a i n ti f f “ to g e t a w a y wi th l y i n g u n d e r o ath w it h o u t a

m e a n i n g f u l p e n a l ty , ” w h e n th at p l a i n ti f f h a s wi l l f u l l y f a i l e d to
c om pl y wi t h di s c ov e r y r e qu e s t s . Pi er ce , 688 So.2d at

1391. ¶2 2
. R e tu rn i n g b ri e f l y to th e s u b s ta n ti v e /p ro c e d u ra l d i s c u s s io n r a is e d inth

e b ri e f s , th i s C o u rt h a s n o te d th at w h e n F E L A c a s e s a re b ro u g h t i n s tate c o u

rt, f e d e ra l la w g o v e rn

s th e
s ub s t a n ti v e ri g h t s of t h e pa r ti e s . I l l i noi sC e nt . R .R . v . G andy , 7 5 0 S o . 2 d

5 2 7 , 5 3 4 ( Mi ss. 1 9 9 9 ) (c i ti n g Sout hw e

s t e r n R y . v . D i c ke r s on , 47 0 U
. S. 409, 411, 105 S.C t . 1347, 84 L .E d.2d 3 0 3 (1 9 8 5 ) (F E

L A a c ti o n s i n s tate c o u

rts a re s u b je c t to s tate p r o c e d u r a l ru l e s )). T h e c o u rts of t h i s S t at e m

ay pr op er l y u ti l i z e t h e M i s s i s s i pp i pr ocedu r al r u l es i n h ear i n g f eder al l aw
c l a i m s , b u t l o o k to th e f e d e r a l l a w at i s s u e to a d ju d i c ate m atte rs o f s u b s ta n ti v e ri g h ts o f th e16

pa r ti e s . K i n g v. G ran d

C a s i n o s o f M i ss., In c. - G u l

f p o rt , 6 9 7 S o . 2 d

4 3 9 , 4 4 2 (Mi

ss . 1 9 9 7 ) (a
m a ri ti m e l a w c l a i m ) . T h e t ri a l j u dg e i n t h i s c a s e di d n ot h i n g m or e t h a n a p p l y M i s s i s s i ppi pr ocedu r al l aw t o a di s m i s s al u n der R u l e 37. T

h at A l l en ’ s s u bstan ti v e r i g h t s w er e af

f ected
w h e n h i s c a s e w a s di

s m i s s e d i s wi t h ou t dou bt , bu t s uc h i s t he na t ur e a

n d pu r pos e of s a n c ti on s f o r d i scov er y v i o l ati o n s an d h i n d eri n g t h e d i scov er y o f t r u t h i n a l aw su i t . T o d o a n y t h in g

l ess
w o u l d n o t ef f ecti v el y d i ssua d e o t h e r s f

r o m d o i n g t h e sam e. A g ai n , t h e t ri al co u r t d i d n o t ab u se i ts d i s c r e ti o n i n f i n d i n g th a t al e s s h a r s h p e n a l ty wo u l d n o t a c h i e v e th e s a me r e s u lt s . As we
s tate d a b o v e , th e tri a l ju d g e i n th i s c a s e w a s n

o t m ak i n g a d e te rm i n ati o n o f A l l e n ’s s u b s ta n ti v e
ri g h t s u n der h i s cl ai m , b u t r at h er a pr ocedu

r al det er m i n at i on o f w he t he r

h i s pr e- t ri al con du ct
w a s w i l l f u l a n d w a rran ted d is mi

ss a l
. A s w e h

a v e p rev i o u sl y stated , “ [o ]u

r t ri a l ju d g e s a re
a f f or de d c on

s i de r a bl e di s c r e ti on i n m a n a g i n g t h e pre - t ri a l di s c ov e r y pr oc e s s i

n t h e i r c ou r t s ...” B ow i e v . M ont f or t Jones M e m ’ l H os p. , 8 61 S o. 2d10 37 , 1 04 2 ( M i s s . 2 00 3) . T

h i s pr op er
e x e r c i s e of j u di c i a l di s c r e t i o n inc l

ud e s , i n a ppr opri at e c a s e s , t

h e ri g h t t o di s m i s s a c a s e du e t o di s c ov e r y v i ol ati on s . I d. at 1 0 4 2
- 4 3
. F o r t h e s e r e a s o n s , w e f i n d th i s i s s u e i s wi th o u t m e ri t. I I I . D UEP

R O C E SS ¶2 3
. F i n a l l y , Al l e n a s s e r ts t h a t t h e tr i

a l c o u r t’ s f a i l u r e to a l l o w h i m to te s ti f y o n h i s o wn beh al f at t h e h ear i n g on t h e R u l e 37 m ot i on v i ol at ed h i s du e pr oces s ri

g h t s . A l l en ch ar a ct er i z es th e tri a l c o u rt’s a c ti o n a s a r e fu s a l to a l l o w h i m to b e h e a rd , o r a d e n i a l o f a n o p p o rtu n i ty to tes ti fy in h

i s o w n b e h a l f , w h i c h e qu ates to a v i o l ati o n o f h i s d u e p ro c e ss ri

g h ts. T h e rec o rd
re v e a l s th e f o l l o wi n g c o l l o qu y b e tw e e n A l l e n ’s c o u n s e l a n d th e tri a l c o u rt:17

I’m p re p a re d to g o f o rw a rd wi th th e a rg u m e n t. I’v e a ls o b r o u g h

t Mr
. A l l e n to th e c o u rtro o m i f Y o u r H o n o r th i n k s th at i t m i g h t b e w o rt h it to h

av e h i m o n th e sta n d to a c tu a l l y h e a r q u e sti o n a n d a n sw e r an d to se e f o r y o u rs e lf M r . A ll

e n ’s c re d i b i l i ty . B Y T H E C O U R T : T h e C ou r t on t h i s i s s u e r eal l y wi l l base i t s deci s i on on w h at i s a l r e a dy be f or e t h e C ou r t . In re a l i ty , A l l e n ’s c o u n s e l m e re l y i n f o rm e d th e tri a l c o u rt th at Al l e n w a s p re s e n t t o t e s t if

y i f th e c o u rt f e l t h i s l iv e t e s t imo n

y w o u l d b e h e l p f u l
. T h e tri a l c o u rt d i d n o t f i n d i t n e c e s s a ry to h e a r f r om A l l e n i n or de r t o r u l e i n t h e c a s e . O n

c e t h e t ri a l c ou r t a nno unc e d t ha t i t

w ou l d n ot h e a r f ro m A l l e n b y w a y o f sw o rn tes ti m o n y f ro m th e wi t n e s s s t a n d , n

e i th e r Al l e n n o r h i s
cou n s el r ai s ed a du e pr oces s v

i ol at i on f or t h e t r i a l cou r t t o con s i der . L i kewi s e, t h e or der an d
o p ini o n f r o m w h i ch t h i s appeal w as t aken

, as s peci f i ed i n t h e n ot i ce of appeal , d i d n ot addr es s t h i s i s s u e . See M
. R
. A
. P
. 3 ( c )
. F a i l u re to p re s e rv

e th i s i s s u e f o r a p p e a l p u rp o s e s re n

d e rs th i s i s s u e pr oc e du

r a l l y ba r r e d. C o r e y v . S k e lt o n , 8 3 4 S o . 2 d 6 8 1 , 6 8 6 (M i

s s . 2 0 0 3 ); B arnes v

. S i n g i n g R i ver H o sp. S ys. , 7 3 3 S o . 2 d

1 9 9 , 2 0 2 (M i

s s . 1 9 9 9 ); E d

u c a t i o n a l P l a c e m e n t S ervs.
v . W i l s on , 4 8 7 S o . 2 d

1 3 1 6 , 1 3 2 0 ( M i

s s . 1 9 8 6 )
. P r o c e d

u r a l b a r n o twi th s ta n d i n g , we wi l l
n on e t h e l e s s bri e f l y di s c u s s t h i s i s s u e on i t s m e ri t s . ¶24
. A l l en ci t es v ar i ou s au t h or i ti es f o r t he p r op osi

ti on t h at du e pr oces s dem

an ds t h at A l l en be a f f or de d a h e a ri n g on t h e m e ri t s of h i s c a s e . See L o

ga n v . Z i m m e r m a n B ru sh C o . , 455 U
. S
. 4 2 2 , 1 0 2 S
. C t. 1 1 4 8 , 7 1 L
. E d
. 2 d 2 6 5 (1 9 8 2 ); Soc i e t e

I nt e r nat i ona l e P our Pa rt i ci p a t i o n s Ind

u s t r i e l l e s e t

C o m m erci a l es, S

. A . v. R o g ers , 357 U .S. 197, 78 S. C t . 1087, 2 L
. E d
. 2 d

1 2 5 5 (1 9 5 8 ); H

am m ond P a c k i n g C

o. v . A r kans as , 212 U .S. 322, 29 S. C t . 370,18

5 3 L
. E d
. 5 3 0 (1 9 0 9 ); M cD an i e l v . R i t t er , 5 5 6 S o . 2 d 3 0 3 ( Mi ss. 1 9 8 9 )
. H o w ev

er , A l l en al so
c i t e s t h e T e n t h C i r c u i t f or t h e r u l e t h at , “ [ b] e c a

u s e a d e f a ult j ud gm e n

t i s s u c h a h a r s h s a n c ti on , du e pr oces s r e q ui

r es t h at ‘ f ai l u r e’ [ t o com

pl y wi t h cou r t or der s or

t o at t en d d eposi ti on s an d
s e r v e a n s w e r s t o i

n t e r r o g at o ri e s ] i s a s u f f i c i e n t g r o u n d o n l y w h e n i t i s th e re s u lt o f

‘ wi l l f u l n e s s , ba d f

a i t h , or [ s om e ] f a u l t of pe ti ti on e r ’ r at h e r t h a n i n a bi l i t y t o c o m pl y .” M . E . N. C o. v. C on t r ol F l u i di cs , Inc. , 834 F.2d 869, 872 ( 10 C i r . 1987) ( q uo t ing N

at ’ l H ockey th L e ag ue , 4 2 7 U
. S
. a t

64 0) . A

m t r ak ar g u es t h at t h e du e pr oces s cl

au s es u n der t h e Fi f t h an d Fou r t e e n t h A m e n dm e n t s di d no t r e q u

i r e t h e t ri a l j u dg e i n t h i s c a s e t o h

e a r l i v e t e s ti m on y f r om A l l en . We ag

r ee. A s al

r ead y d i scu ssed, t h e t r i a l c o u r t d i d i n f act m ak e a f i n d i n g o f wi l l f u l n ess
a n d a l s o f ou n d t h at i t w a s n ot a n i n a b i l i t y t o c om

pl y w h i c h pr e v e n t e d A l l e n f r om c om pl y i n g
wi th d i sc o v e ry req u e sts, b u t r ath e r an a c t o f b a d f a i th
. F u rt h e r, i t i s n o t cl e a r f ro m A l l e n ’s
ar g u m e nt w ha t e xa c t l

y i t w as t h at t h e t ri al cou r t r ef u s ed t o h ear . T h er e w as n

o p r of f er t h at A l l e n ’s l i v e tes ti m o n y wa s g o i n g to d i ffe r fr o m

, o r ad d su b sta n ti a l l y to , h i s a f f i d av i t o r h i s at t or n ey ’ s a r gu m

en t on t h e m ot i on t o d i s m i s s . A s w e h

av e al r eady con cl u ded, A l l en depr i v ed h i m s e l f o f a h e a ri n g o n th e m e ri ts b y h i s d i s c o v e ry re s p o n s e s i n th i s c a s e . A l

l o wi n g h i m to p r o ceedw o u

l d h av e co m p l et el y d i l u t ed t h e i n t en d ed ef f ect o f R u l e 3 7
. A l

l t h at d u e p r o cess
r equ i r es i n cases of d i sm i ssal u n d er R u l e 3 7 i s t h at t h e t ri al co u r t m ak e a f i n d i n g o f wi l l f u l n ess
o r b a d f a i th o n th e p a rt o f th e p a rt y w h o se c l a i m s w e re a d v

e rse l y a f f e c ted , w h i c h th e tr i a l c o u rt i n t oda y’ s c a s e pr ope rl

y di d . S ee So c ie te

I n te r n a tio n a le , 3 57 U .S . at

20 7- 08 . T

h i s i s s u e i s
wi th o u t m e ri t.19 C ON C L U S I ON ¶2 5
. T h e tr i a l c o u rt i n to d a y ’s c a se d i

d n o t ab u se i ts d i sc reti o n i n d i sm i ss i n g C r a ig A l

l e n ’s
c a s e p u rs u a n t to M i s s . R
. C i v . P
. 3 7 (b ), b a s e d

o n i ts f i n d i n g th at Al l e n wi l l f u l l y v i o l ate d th e d i s c o v e ry ru l e s b y re p e ate d l

y f a i l i n g to d i s c l o s e h i s 1 9 9 3 b a c k

i n ju ry a n d c l a i m d u ri n g th e di s cov er y p r oces s . T

h er ef or e, w e af

f i r m t h e j u dg m en t of di s m i s s al en t er ed by t h e C i r cu i t C ou r t f or t h e Fi r s t J u di c i a l D i s t ri c t of H i n ds C ou n t y . ¶26. AFF

I R M ED . S M I T H , C . J . , W

A L L E R A

ND COB B , P . J J . , GRA V E S , DI C K

I NS O N A

ND R AN D O LP

H , J J . , CO N CUR . D I AZ AN D EAS LEY , J J . , D I S S EN T W

I TH O UT S EP

AR ATE W R I T T E N OP

I N I ON .